Series 14: 8.3.5.2. Investment Adviser Accounts

Taken from our Series 14 Online Guide

8.3.5.2. Investment Adviser Accounts

An investment adviser is a person or entity that advises people on their investments for a fee. Investment advisers often open accounts at broker-dealers to buy and sell securities for a client. Investment advisers are considered fiduciaries and must therefore put their c

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 8.3.5.2. Investment Adviser Accounts, you might also be interested in:

Series 65 - 9.1.7. Exemptions to Issuer and Security Registration

Series 66 - 9.1.7.2.2. Prohibited Advertising Practices

Series 79 - The Life Cycle of a Public Offering (Section 5)

Series 22 - At-Risk Rule

Series 54 - 1.3.1. General Information (Not Advice)

SIE - 3.1.4.3. Diversification of Funds

Series 51 - Churning

Series 65 - Tools of Government Policy

Series 65 - 10.10.6.3 Describing a Price as “At the Market” If It Is Not

Series 6 - Chapter 4 Practice Question Answers

Series 63 - Exercise

Series 51 - Six-Year Minimum Requirement

Series 6 - 7.5.3.2. Six-Year Records

Series 82 - Communications that Include a Recommendation

Series 66 - Preemptive Rights

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX

I used Solomon Exam Prep for both the Series 7 and the 66 which I took within a couple of months of each other. I smoked both tests with an 85% and an 88%. Well above the passing score. The books have just enough humor to keep things interesting and the practice tests and quizzes are phenomenal. If you want to get the most out of these programs pound out as many practice test as you can.

K. Nick Thoeni, Gilroy, CA

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY

Recently passed my Series 22 using the Solomon material. Failed the exam once previously using The Securities Institute of America material. Solomon gave me the tools in order to succeed and pass my exam. I highly recommend this material!

Cole Seelhammer. New Braunfels, TX

I passed with flying colors. Made an 83. Your material is awesome. I could not have done it without it. The book is a great start and then the online exam simulator seals the deal. Thanks for all your help...and especially for jumping to my aid over the weekend.

David Latham, Butler Snow Advisory Services, Ridgeland, MS